 |
 |
|
|
|
|
|
|
|
| | | |
|
|
|
|
|
|||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
1
.
SEC COMMISSION OPINION
|
EXTRACTED KEY WORDS
ACCOUNTS CUSTOMERS NASD KOENIG SECURITIES SANCTIONS COMMISSION SCHWARTZ TRADES AUTHORIZATION RIMSON MCTEAR VIOLATIONS TRANSACTIONS HILER EXCHANGE ACT DISCIPLINARY ACTION NATIONAL ASSOCIATION PURCHASES FINDINGS SUSTAIN NASD STAFF REVIEW SECURITIES DEALERS SANCTION GUIDELINES SHARES ASSERTS FACTS PCM |
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.
SECURITIES EXCHANGE ACT OF 1934
Rel. No. 39242 / October 15, 1997
Admin. Proc. File No. 3-9296
:
In the Matter of the Application of :
:
MARTIN J. CUNNANE, JR. :
3752-62nd Street, Apartment 1B :
Woodside, New York 11377 :
:
For Review of Disciplinary Action Taken by the :
:
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. :
:
OPINION OF THE COMMISSION
REGISTERED SECURITIES ASSOCIATION -- REVIEW OF DISCIPLINARY
PROCEEDINGS
Violations of Rules of Fair Practice
Unauthorized Trading
Registered representative opened accounts for three
customers
without authorization and effected unauthorized trades in
each
account. Held, association's findings of violations and
sanctions it imposed are sustained.
APPEARANCES:
Martin J. Cunnane, Jr., pro se.
Norman Sue, Jr. and Francine Norz Tobin, for NASD Regulation,
Inc.
SNIPPETS:
|
|
|
| | | |
|
|
